Wire House Broker Dealer

We get it; we have been in your seat.We understand the intricacies of working in a wire house and balancing the needs of a large corporation.We provide Due Diligence services to meet today’s regulatory environment, provide a broader industry perspective, and allow you to focus on your strategy.We also serve as a valuable independent resource.

Product Shelf Set-Up

Review and perform due diligence on your product shelf

Support acquisitions and review overlaps

Identify issues or concerns and bring recommendations to product and risk committees

Compare your current products to industry products, making replacement recommendation where appropriate

Identify gaps in your offering and recommend new products to fill gaps

Ensure your product shelf is compliant, best in class, and ready for today’s market environment

Meeting Fiduciary Standards

For Your Risk and Compliance Team

For Your Product Team

Use our Product Q2 Comparison Matrix to create a "High Conviction" product shelf that will stand up to the external regulators and the internal auditors.

For Your Surveillance and Supervision Team

Your sales supervision team can use our Product D2 Reports to make sure your Advisors are recommending the right products.

For Your Advisors

• Make it easy for Advisors to compare products. • Help advisors match client need to the best products in a repeatable and scalable way. • Demonstrate to the regulators that you have made substantial efforts to educate your Advisors about their product choices.